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Going independent
Fired Merrill Lynch advisor with $2.4B moves to Dynasty
Bruce Keebeck Lee has repeatedly been ranked as a top advisor by both Barron’s and The Financial Times, but he was fired in April for a failure to file compliance paperwork.
$415M Wells Fargo team bolts for LPL amid Broker Protocol uncertainty
The No. 1 independent broker-dealer has grown beyond the wirehouses, but it added about 100 fewer advisors than expected from its major acquisition.
White Paper
Exploring Independence: An overview of the Registered Investment Advisor model
The RIA channel has been growing steadily for the past several years. See why more advisors are choosing to become RIAs.
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Wells Fargo sues $300M breakaway team over client data issues
A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.
$800M Merrill Lynch team goes indie with Focus Financial
The group is the latest in a long string of wirehouse departures.
$186M Wells Fargo team to launch incubator following indie move
Kestra Private Wealth Services CEO Rob Bartenstein says the new practice makes the fourth new office added this year by the hybrid RIA.
Voices
Is flight to independence the reason wirehouses are leaving protocol?
Bob Veres
Columnist
The trickle of brokers leaving wirehouses for greater independence is quietly becoming a flood.
Kestra lures away $300M Wells Fargo team
More advisors can’t ignore the call to go independent.
Athlete and musician practice with $600M in AUM launches RIA
The firm left Kestra for PKS as part of the move as increasingly large breakaways fuel the independent movement.
3 Broker Protocol changes to watch
The 2004 industrywide accord is rocked by changes its founders did not foresee.
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